Today? now? How do you know it's the real thing? 100 years from. Research Domain 1 What is required to prove the authenticity of electronic records?

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1 InterPARES Project International Research on Permanent Authentic in Systems How do you know it's the real thing? Today? 100 years from now? Research Domain 1 What is required to prove the authenticity of electronic records? Research Domain 2 How do we select electronic records for preservation? Research Domain 3 How do we preserve authentic electronic records? Research Domain 4 What policies, strategies & standards will protect the authenticity of electronic records over time? Surveys Research benefits: Research methods: Glossary Prototyping Case Studies Diplomatic Analysis Modeling Holding governments, organizations, and individuals accountable Preserving the authentic recorded memory of our society Ensuring the trustworthiness of research sources and data

2 'Select ' Model version 2.1a (January 19-20, 2001). Appraisal Task Force, InterPARES Project USED AT:AUTHOR: ApTF DATE: 5/4/2000 PROJECT: 'Select REV: 1/19/2001 ' model NOTES: WORKING READER DATE CONTEXT: DRAFT TOP RECOMMENDED PUBLICATION Authenticity Requirements Archival Science Legal Requirements Societal Creator's Information About ' Contexts Information About the Technological Context of Select Not Information About Appraisal Decisions of Information From Information about Capabilities A0 Information About Computer Equipment and Software Facilities Persons NODE: TITLE: Select NUMBER: A-0 page 2

3 'Select ' Model version 2.1a (January 19-20, 2001). Appraisal Task Force, InterPARES Project USED AT:AUTHOR: ApTF DATE: 5/4/2000 WORKING PROJECT: 'Select REV: 2/6/2001 DRAFT ' model NOTES: RECOMMENDED PUBLICATION Creator's Authenticity Societal Legal Requirements Requirements Information About ' Contexts Manage Selection Function Information From Information About the Technological Context of A1 Appraise Archival Science Appraisal Strategies READER DATE CONTEXT: NODE: TITLE: Select NUMBER: A0 A2 Information about Capabilities Information About Appraised Information About Disposition Information About Appraisal Decisions of Appraisal Decision Carry Out Disposition of Not A3 A-0 Disposition Rules & Procedures Information About Selected for page 3

4 'Preserve ' Model version 5.0 July 27, Task Force, InterPARES Project USED AT: AUTHOR: Task Force DATE: 2/16/2000 IP PROJECT: InterPARES Project REV: 7/6/2001 Workshop 8 NOTES: Archival Requirements State of the Art of Information Technology WORKING DRAFT RECOMMENDED PUBLICATION READER Institutional Requirements DATE CONTEXT: TOP Information about Transfer of Request for and/or Information about Preserve Reproduced Certificate of Authenticity Reproducible Requested Information about Preserved Information About A0 Information and Communications Technology Infrastructure Preserve NODE: TITLE: NUMBER: A-0 Facilities page 2 PTF_model_v5-0_diagrams.doc Persons Responsible for v. 5.0

5 'Preserve ' Model version 5.0 July 27, Task Force, InterPARES Project USED AT: AUTHOR: Task Force DATE: 2/17/2000 Workshop PROJECT: InterPARES Project REV: 7/6/ Archival Requirements Information about Transfer of Request for and/or Information about NOTES: page 3 PTF_model_v5-0_diagrams.doc WORKING DRAFT RECOMMENDED PUBLICATION READER Persons Responsible for NODE: TITLE: NUMBER: A0 Manage the Function Terms and Conditions for Transfers A1 Targeted Methods Infrastructure Technology State of the Art of Information Technology Institutional Requirements Accessioning Policy Strategies Action Plans Bring in Information Required to Certify Authenticity A2 Accessioned Management Information About Preserve Retrieved Information about Preserved Maintain A3 Output A4 v 5.0 DATE CONTEXT: A-0 Retrieved Digital Components and Information Retrieval Request Report on authenticity of records Certificate of Authenticity Requester Information About Reproduced Reproducible Requested Information about Preserved

6 Purpose of the InterPARES Project Preserving Authentic A Report on the InterPARES Project International Research on Permanent Authentic in Elec tronic Systems Philip B. Eppard ECURE 2001 To develop the theoretical and methodological knowledge essential for the permanent preservation of records generated electronically. To formulate model policies, strategies, and standards capable of ensuring their preservation. International Research on Permanent Authentic in Elec tronic Systems Previous UBC Project Born out of previous UBC research. "The of the Integrity of " ("The UBC Project"). Defined the requirements for creating, handling and preserving reliable and authentic electronic records in active recordkeeping systems. With U.S. Department of Defense. Developed DoD Management standard International Research on Permanent Authentic in Elec tronic Systems Participants International Team National Research Teams Canada, USA, Italy, Australia, China Multi-National Research Teams Europe (UK, Ireland, France, Netherlands, Sweden) National Archival Institutions Global Industry Team International Research on Permanent Authentic in Elec tronic Systems 1

7 Organization Task Forces 1. Authenticity Appraisal 4. Strategies Glossary Committee International Research on Permanent Authentic in Elec tronic Systems Methods & Analysis Contemporary Archival Diplomatics Functional Analysis Narrative Analysis IDEF0 Activity Modeling International Research on Permanent Authentic in Elec tronic Systems Authenticity Task Force Research Question: What is required to prove the authenticity of electronic records? Research Methods: Literature Review Functional & Narrative Analysis of Case Studies Contemporary Archival Diplomatic Analysis International Research on Permanent Authentic in Elec tronic Systems 2

8 Template for Analysis Systems Studied by ATF Based on elements of records identified by the study of diplomatics 1. Medium 2. Extrinsic elements 3. Intrinsic elements 4. Annotations 5. Context or framework Relational databases Accounting systems management systems Patent grants systems Student Registration Systems Info Management Systems Government Registries Computer Aided Design International Research on Permanent Authentic in Elec tronic Systems International Research on Permanent Authentic in Elec tronic Systems Conceptual Requirements for Assessing Authenticity Benchmark requirements Before records are transferred to the preserver s custody Baseline requirements After records are transferred to the preserver s custody International Research on Permanent Authentic in Elec tronic Systems Benchmark Requirements 1. Expression of Record Attributes & Linkage to Record 2. Access Privileges 3. Protective Procedures: Loss and Corruption of 4. Protective Procedures: Media and Technology International Research on Permanent Authentic in Elec tronic Systems 3

9 Benchmark Requirements (cont.) 5. Establishment of Documentary Forms 6. Authentication of 7. Identification of Authoritative Record 8. Removal and Transfer of Relevant Documentation International Research on Permanent Authentic in Elec tronic Systems Baseline Requirements 1. Controls over Transfer, Maintenance, and Reproduction 2. Documentation of Reproduction Process and its Effects 3. Archival Description International Research on Permanent Authentic in Elec tronic Systems Authenticity Findings Authenticity often expressed implicitly, rather than explicitly Medium in not significant in assessing authenticity of records are inextricably embedded in their contexts International Research on Permanent Authentic in Elec tronic Systems Appraisal Task Force Research Question: How do we select electronic records for preservation? Research Methods Literature Review Activity Modeling International Research on Permanent Authentic in Elec tronic Systems 4

10 USED AT:AUTHOR: ApTF DATE: PROJECT: 'Select REV: ' model NOTES: Information About ' Contexts Information About the Technological Context of Information From Authenticity Requirements Information about Capabilities Select A-0 Archival Science Computer Equipment and Software 5/4/2000 1/19/2001 Legal Requirements Select Facilities WORKING DRAFT RECOMMENDED PUBLICATION Societal READER DATE CONTEXT: NODE: TITLE: Select NUMBER: A-0 A0 Persons Creator's Not Information About Appraisal Decisions of Information About TOP USED AT:AUTHOR: ApTF DATE: PROJECT: 'Select REV: ' model NOTES: Creator's Information About ' Contexts Authenticity Requirements Information About the Technological Context of Manage Selection Function Information From Select A0 Societal A1 5/4/2000 2/6/2001 Appraise Information about Capabilities Information About Appraised WORKING DRAFT Legal Requirements Archival Science Appraisal Strategies RECOMMENDED PUBLICATION READER DATE CONTEXT: NODE: TITLE: Select NUMBER: A0 A2 Information About Disposition Information About Appraisal Decisions of Appraisal Decision Carry Out Disposition of Not A3 A-0 Disposition Rules & Procedures Information About Selected for Appraisal Findings Assess authenticity of the records Determine the feasibility of preservation must be appraised early The appraisal decision must be regularly monitored International Research on Permanent Authentic in Elec tronic Systems Task Force Research Question: How do we preserve authentic electronic records? Research Methods: Literature Review Surveys Case Studies Activity Modeling International Research on Permanent Authentic in Elec tronic Systems 5

11 Preserve A-0 Preserve A0 Findings Identification of digital components of electronic records Systematic & dynamic controls for preservation Archival requirements for preservation International Research on Permanent Authentic in Elec tronic Systems Findings (cont.) Original electronic records vs. copies of electronic records means reproduction Chain of preservation International Research on Permanent Authentic in Elec tronic Systems 6

12 Strategies Task Force Research Question: What policies, strategies and standards will protect the authenticity of electronic records over time? Adapt the recommendations of the other task forces to each national environment Further Information US-InterPARES Website InterPARES Website International Research on Permanent Authentic in Elec tronic Systems International Research on Permanent Authentic in Elec tronic Systems InterPARES 2 generated by interactive, dynamic, experiential, sensory and performance systems Government The Arts ecommerce International Research on Permanent Authentic in Elec tronic Systems 7